Aaron M. Fleming
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Aaron Michael Fleming was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2006. Aaron had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2017 - May 19, 2020
BLUE OWL SECURITIES
April 20, 2010 - January 17, 2017
NORTHSTAR SECURITIES, LLC
April 12, 2010 - May 25, 2010
WELTON STREET INVESTMENTS LLC
April 29, 2009 - September 8, 2009
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
May 24, 2007 - February 13, 2009
WELTON STREET INVESTMENTS LLC
October 25, 2006 - May 17, 2007
CHARLES SCHWAB & CO., INC.
October 25, 2006 - May 17, 2007
CHARLES SCHWAB & CO., INC.
February 6, 2006 - October 16, 2006
UBS FINANCIAL SERVICES INC.
January 19, 2006 - October 16, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLUE OWL SECURITIES
CRD#: 283250 / SEC#: , 8-69744
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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